Brian F. Mulderry
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Francis Mulderry was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2013 - March 27, 2013
WESTOR CAPITAL GROUP, INC.
July 18, 2011 - March 14, 2012
J.P. TURNER & COMPANY, L.L.C.
July 27, 2001 - July 6, 2010
TRUIST SECURITIES, INC.
June 30, 1997 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
February 19, 1992 - May 20, 1997
NATIONAL FINANCIAL SERVICES LLC
January 8, 1991 - January 2, 1992
GLEACHER & COMPANY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/13/1998
Limited Representative-Equity Trader ExamCurrent Firm
WESTOR CAPITAL GROUP, INC.
CRD#: 103823 / SEC#: , 8-52311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOHAWK MANAGEMENT CORP | SHARHOLDER | |
| EVERCORE CAPITAL ADVISORS LLC | SHAREHOLDER | |
| BACH, RICHARD HANS | PRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP | 1011097 |
Disclosures
| Regulatory Event | 18 |
| Financial | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
